Royce & Associates invests clients' assets primarily in the equity securities of US and foreign companies at all capitalization levels using its disciplined valuation-based investment approach. A significant portion of clients' assets are invested in the securities of micro-, small-, and mid-cap companies. Royce's value approach is based on their belief that the securities of certain micro-, small-, or mid-cap companies may sell at a discount from the firm's estimate of the companies' current worth. The firm seeks to identify and invest in these companies with the expectation that the value discount will narrow over time and thus provide capital appreciation for their clients. Investments may include purchases of securities offered in initial public offerings, secondary offerings, private placements, long and/or short positions in US and non-US publicly issued and non-public common stocks, ADRs, preferred stocks, stock warrants and rights, bonds of all types, including distressed and defaulted bonds, notes or other debentures, debt participations or bank debt, convertible securities, distressed securities, partnership interests, swaps, participation notes, derivative contracts and structured notes, and other securities or financial instruments. Royce & Associates may also invest a portion of the assets of certain accounts in ETFs, closed-end funds, money market funds and other funds. The firm's team of portfolio managers has significant personal investments in the strategies they manage.

The Bank of New York Mellon Corp. is a bank holding company, which engages in the provision of financial services. It operates through the Investment Services and Investment Management segments. The Investment Services segment includes institutional trust and custody fees, broker-dealer services, corporate trust, depositary receipts, and foreign exchange. The Investment Management segment provides services to institutional and retail investors, as well as investment management, wealth and estate planning. The company was founded by Alexander Hamilton on June 9, 1784 and is headquartered in New York, NY.

Goldman, Sachs & Co. (GS&Co.), a limited partnership registered as a U.S. broker-dealer and futures commission merchant, together with its consolidated subsidiaries (collectively, the firm), is an indirectly wholly owned subsidiary of The Goldman Sachs Group, Inc. (Group Inc.), a Delaware corporation. The firm is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals.

Founded in 1969, Morgan Stanley & Co. LLC is an SEC-registered broker/dealer headquartered in New York City. The firm is the primary broker subsidiary of Morgan Stanley (NYSE: MS). They are a member of FINRA. Morgan Stanley & Co. provides debt and equity services including underwriting, M&A advice, securities dealing and brokerage and trade execution. Their client base ranges from large global institutional investors to hedge funds at the cutting edge of innovation in the industry.The firm's Sales & Trading division offers cash and electronic trading platforms where Morgan Stanley acts as principal (including as a market maker) and agent in executing transactions globally in equity and equity-related products. These products include equity swaps, options, warrants and futures overlying individual securities, indices and baskets of securities and other equity-related products. Morgan Stanley's Institutional Equity division is a global leader in the origination, distribution and trading of equity, equity-linked and equity-derivative securities. Their Fixed Income team deals in a diverse range of products including interest rate and currency products, credit products, derivatives and commodities.

Yadkin Bank provides banking services. It provides banking, mortgage, investment and insurance services. The firm operates through five divisions: American Community, Cardinal State, High County, Piedmont and Yadkin Valley Bank. The company was founded on September 16, 1968 and is headquartered in Elkin, NC.

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